.0314 Determination of Registration Amendments

Counsel shall review a plan’s registration amendment.  If counsel determines that the plan will continue to satisfy the requirements for registration, counsel shall inform the plan owner that the plan’s registration amendment will be registered.  If counsel determines that the plan will not continue to satisfy the requirements for registration, counsel shall inform the plan owner that the registration amendment will not be registered and shall explain the deficiencies.  Counsel shall provide a report to the committee each quarter identifying the plans that submitted registration amendments and whether each registration amendment was registered. 

History Note: Statutory Authority G.S. 84-23; G.S. 84-23.1

Readopted Effective December 8, 1994.

Amendments Approved by the Supreme Court: August 23, 2007; September 25, 2020